SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Schwab, NYSE and Citadel Unite Against SEC Market-Rules Revamp
By Katherine Doherty and Lydia BeyoudThe new regulations, if finalized, could damp liquidity in the stock market, the firms said.
March 06, 2023
Industry Groups Press SEC to Extend Custody Rule Comment PeriodRIAs and custodians need more time to understand the controversial proposal, SIFMA, IAA and other groups say.
March 06, 2023
Former SIFMA General Counsel Hammerman Joins Bates GroupHammerman, who served 19 years as SIFMA's general counsel, will be based in Park City, Utah.
March 03, 2023
New SEC Custody Rule Would Scare Away Qualified Custodians: LawyerThe rule, if adopted, would entail repapering all custodian relationships for most SEC-registered RIAs, Valerie Mirko says.
March 03, 2023
SEC Charges Father-Son Advisory Team With FraudThe duo allegedly impersonated clients in phone calls to their former firm, Waddell & Reed, to execute transactions.
March 03, 2023
Work Phones Make a ComebackFirms, especially in finance, have grown concerned about data security as the SEC and CFTC step up scrutiny.
March 02, 2023
SEC to Increase Onsite Advisor ExamsExpect a "significant" increase in onsite exams within the next six months, SEC official Natasha Greiner says.
March 01, 2023
LPL, Raymond James Caught in SEC's Messaging ProbeThey are among firms facing SEC inquiries about preservation of messages stored on personal devices or apps.